Job Summary

The successful applicant's primary responsibility is to ensure that the company functions in a legal and ethical manner while meeting its business goals. Additional responsibilities include developing compliance programs, reviewing company policies, and advising management on possible risks.

  • Minimum Qualification: HND
  • Experience Level: Mid level
  • Experience Length: 3 years

Job Description/Requirements

  • Keep the business abreast of any regulatory developments and industry best practices and assess the impact on current procedures, as well as ensuring that necessary changes are implemented.
  • Develop and implement an Annual Compliance plan.
  • Liaise with Industry Regulators and other agencies and respond to regulatory enquiries, findings, and deficiencies.
  • Carry out Compliance reviews and Compliance monitoring activities.
  • Monitor the resolution of Clients’ complaints.
  • Provide assistant to respective units for purpose of compliance with applicable statutory, regulatory, and supervisory requirements.
  • Ensure no fine/censure from Regulatory authorities.
  • Improvement in the compliance culture, enterprise-wide
Requirements:
  • Minimum educational qualification of a University Degree or a Higher National Diploma from a recognized tertiary institution, professional qualification in the field of Law, Accounting, Actuarial Sciences. Audit and Finance or any other relevant discipline.
  • Experience in Control and compliance units.
  • General knowledge and understanding of the Nigerian Capital market.
  • General familiarity with laws and regulations governing financial institutions.
  • In-depth knowledge of the legislation, rules, and regulations which relate to financial services, especially the Nigerian Capital Market.
  • Technical proficiency in the development and implementation of Compliance programmes.
  • Ability to provide technical guidance and direction in control and compliance as relates to financial services, especially Capital Markets.
  • Ability to engage with regulators and law enforcement agents.
  • Effective communication, organizational, and time management skills.
  • Proficiency in Microsoft Office Applications.
  • Business Awareness.

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